If you're looking to join a true team environment where your work will make a difference and your voice will be heard, we invite you to explore career opportunities with USCF.
Overview: The Compliance Officer must have extensive knowledge and experience as a compliance professional in the securities and commodities industry, ideally with an asset manager. He or she is independently motivated, highly-organized, efficient, multi-tasking and able to work collaboratively with all business units. The ideal candidate is seeking an innovative, collaborative, and fast-paced environment at a growing company.
The Compliance Officer will report to the Chief Compliance Officer (CCO).
Company: USCF Investments is an asset management firm with multiple fund platforms and approximately $3.5 billion in assets under management based in Oakland, CA. The Company operates on the leading edge of product innovation as an asset management firm offering exchange-traded products (ETPs), exchange-traded funds (ETFs) and mutual funds.
Responsibilities include: Advise the CCO and business units on compliance best practices in a manner that reflects an understanding of the impact of the advice on internal and external stakeholders. Collaborate with all departments to detect and direct compliance issues to appropriate channels for investigation and resolution. Develop and update compliance materials in accordance with federal securities and commodities laws as well as applicable exchange rules. Review promotional materials to ensure compliance with applicable SEC, FINRA, CFTC, NFA and exchange rules. Conduct due diligence on third parties, including service providers, as it relates to the Company’s compliance programs. Monitor legal developments that impact the Company and industry and provide recommendations on compliance with both existing and anticipated future laws. Think strategically about compliance issues and risks related to business objectives and work collaboratively and creatively to address those issues and risks in a compliant and ethical manner. Develop and implement training programs and assist business units in obtaining annual certifications. Support regulatory audits and exams. Provide compliance reports on a quarterly, semi-annual and annual basis.
Qualifications: Bachelor’s degree or higher, ideally with business, finance or accounting background. J.D. or M.B.A. would be preferred. A minimum of 5 years of experience as a compliance professional in the securities or commodities industry, preferably with a background in operations and/or regulatory reporting. Deep knowledge of federal securities and commodities laws and regulations as well as exchange rules. Demonstrated track record of achieving compliance department objectives. FINRA Series 7 preferred, NFA licenses a plus.
Compensation: Commensurate with experience.
Process: Interested candidates please submit your resume (in MS Word) to firstname.lastname@example.org.